Form 4/A for ESCA ESCALADE INC
Accepted 2022-03-07 00:00:00 ET · period of report 2022-03-02 · accession 0001415889-22-002670 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMA | 2022-03-07 | 2022-03-04 | ESCA | Glazer Walter P. Jr. | CEO, Pres, Dir | M - OptEx | — | +4,166 | 284.3K | +1% | — |
| DMA | 2022-03-07 | 2022-03-03+ | ESCA | Glazer Walter P. Jr. | CEO, Pres, Dir | P - Purchase | $13.18 | +5,000 | 289.3K | +2% | +$65.9K |
| DA | 2022-03-07 | 2022-03-02 | ESCA | Glazer Walter P. Jr. | CEO, Pres, Dir | A - Grant | $0.00 | +75.0K | 75.0K | New | $0 |
| DMA | 2022-03-07 | 2022-03-04 | ESCA | Glazer Walter P. Jr. | CEO, Pres, Dir | M - OptEx | $0.00 | -4,166 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-03-04 | M | A | 1,666 | — | 285,963 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 2 | Common | Common Stock | 2022-03-03 | P | A | 1,688 | $13.29 | 290,963 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $13.20 to $13.30. The price reported reflects the weighted average purchase price. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which this transaction was effected. |
| 3 | Common | Common Stock | 2022-03-04 | P | A | 3,312 | $13.13 | 289,275 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $12.97 to $13.44. The price reported reflects the weighted average purchase price. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which this transaction was effected. |
| 4 | Common | Common Stock | 2022-03-04 | M | A | 2,500 | — | 284,297 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 5 | Derivative | Restricted Stock Units | 2022-03-02 | A | A | 75,000 | $0.00 | 75,000 | D | — · — to 2025-03-02 | 75,000 Common Stock | (F4) Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). (F5) On March 2, 2022, the reporting person was granted 75,000 RSUs pursuant to the Escalade 2017 Plan, of which one third will vest on March 2, 2023, one third on March 2, 2024 and one third on March 2, 2025, provided that the reporting person remains an officer of Escalade. |
| 6 | Derivative | Restricted Stock Units | 2022-03-04 | M | D | 1,666 | $0.00 | 1,667 | D | — · — to 2023-03-04 | 1,666 Common Stock | (F4) Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (F7) On March 4, 2021, the reporting person was granted 3,333 RSUs pursuant to the Escalade 2017 Plan, of which 1,666 RSUs vested and settled on March 4, 2022, as reported in this Form 4. The remaining 1,667 RSUs will vest and settle on March 4, 2023, provided that the reporting person remains a director of Escalade as of such vesting date. All RSUs settle in shares of ESCA common stock. |
| 7 | Derivative | Restricted Stock Units | 2022-03-04 | M | D | 2,500 | $0.00 | 0 | D | — · — to 2022-03-04 | 2,500 Common Stock | (F4) Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (F6) On March 4, 2020, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 2,500 RSUs vested and settled on March 4, 2021. The remaining 2,500 RSUs vested and settled on March 4, 2022, as reported on this Form 4. All RSUs settle in shares of ESCA common stock. |